DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

M••• S•••• L••

Former SEC-registered adviserNew York, New YorkCRD 167331SEC 801-78002IAPD
Latest filing Mar 30, 2019
First filing on the tape Apr 22, 2013 · 11 filings
RAUM
$45.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.3%
$4.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$45.6M as of Mar 30, 2019
Mar 28, 2014$55.3M then
HNW client RAUM$4.2M as of Mar 30, 2019
Mar 30, 2018$4.6M then
State-registered IARs (5.B.3)0 as of Mar 30, 2019
Mar 28, 20140 then
Employees (5.A)16 as of Mar 30, 2019
Mar 28, 201429 then
Private funds: no history
RAUM -31% over the last fiscal year-34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$22.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-31%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$41.3M91%
  • High-net-worth individuals$4.2M9.3%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• S••• H••••• · Chief Financial Officercontrol
        since 10/2018 · owns less than 5%
      • L••• B•••• · Chief Operating Officer, General Counsel, Chief Compliance Officercontrol
        since 02/2013 · owns less than 5%
      • S•••• A•• · President, Senior Portfolio Manager (Equities)control
        since 01/2018 · owns 25% to 50%
      • S•••• M•••••• D•••••• · Chairman, Chief Executive Officer, Chief Investment Officercontrol
        since 02/2013 · owns 50% to 75%
      • B•••••• C••••• C•••••••• · Class B Member
        since 10/2013 · owns 5% to 10%
      • P•••••• C•••••••• F••••••• · Class B Member
        since 10/2013 · owns 5% to 10%
      Entity owners
      • M• S••• F••••• T•••• · Class B Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 26 to 16
        Mar 30, 2018 to Mar 30, 2019
      • Discretionary RAUM · $66.0M to $45.6M
        Mar 30, 2018 to Mar 30, 2019
      • HNW RAUM · $4.6M to $4.2M
        Mar 30, 2018 to Mar 30, 2019
      • RAUM · $66.0M to $45.6M
        Mar 30, 2018 to Mar 30, 2019
      • Accounts · 3 to 2
        Mar 31, 2017 to Feb 6, 2018
      • Advisory employees · 6 to 5
        Mar 31, 2017 to Feb 6, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Discretionary RAUM · $70.2M to $66.0M
        Mar 31, 2017 to Feb 6, 2018
      • HNW RAUM · unset to 4633800.0
        Mar 31, 2017 to Feb 6, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • RAUM · $70.2M to $66.0M
        Mar 31, 2017 to Feb 6, 2018
      • Accounts · 2 to 3
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 8 to 7
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 28 to 26
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $156M to $70.2M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $156M to $70.2M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 1 to 2
        Apr 9, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 6
        Apr 9, 2015 to Mar 30, 2016
      • BD registered reps · 7 to 8
        Apr 9, 2015 to Mar 30, 2016
      • Employees · 24 to 28
        Apr 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $109M to $156M
        Apr 9, 2015 to Mar 30, 2016
      • RAUM · $109M to $156M
        Apr 9, 2015 to Mar 30, 2016
      • Accounts · 2 to 1
        Jan 28, 2015 to Mar 31, 2015
      • Advisory employees · 6 to 5
        Jan 28, 2015 to Mar 31, 2015
      • Employees · 29 to 24
        Jan 28, 2015 to Mar 31, 2015
      • Discretionary RAUM · $106M to $109M
        Jan 28, 2015 to Mar 31, 2015
      • RAUM · $106M to $109M
        Jan 28, 2015 to Mar 31, 2015
      • Accounts · 1 to 2
        Mar 28, 2014 to Jan 28, 2015
      • Advisory activities · 1 to 2
        Mar 28, 2014 to Jan 28, 2015
      • Discretionary RAUM · $55.3M to $106M
        Mar 28, 2014 to Jan 28, 2015
      • RAUM · $55.3M to $106M
        Mar 28, 2014 to Jan 28, 2015
      • Advisory employees · 7 to 6
        Aug 22, 2013 to Mar 28, 2014
      • Employees · 32 to 29
        Aug 22, 2013 to Mar 28, 2014
      Signals
      3 dated events
      • Harris Sam Friedman (Chief Financial Officer) appeared on Schedule A of M••• S•••• L••
        Mar 30, 2019 · Control person joined · fact
      • Matthew Philip Sivin (Chief Financial Officer, Senior Managing Director) no longer on Schedule A of M••• S•••• L•• (listed 2018-03-30, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • M••• S•••• L•• filed its initial SEC registration (Form ADV)
        Apr 22, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026